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SEC Fines 5 More Firms For Ad Rule Violations : comparemela.com
SEC Fines 5 More Firms For Ad Rule Violations
The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.
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Thayne Gould
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Corey Schuster
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Exchange Commission
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Enforcement Division Asset Management Unit
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Marketing Rule
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Bradesco Global Advisors
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Credicorp Capital Advisors
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Insight Securities
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Monex Asset Management
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Enforcement Division
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Asset Management Unit
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Credicorp Capital
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Rhode Island Based Geasphere
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